Wan, Li (SFC:AHD514) 萬里

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SFC licenses

Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.

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Organisation Role Activity From Until
1 UBS SECURITIES ASIA LIMITED Rep Advising on corporate finance 2004-03-08
2 UBS SECURITIES ASIA LIMITED Rep Advising on securities 2004-03-08
3 UBS SECURITIES ASIA LIMITED Rep Asset management 2004-03-08
4 UBS SECURITIES ASIA LIMITED Rep Dealing in securities 2004-03-08
5 Credit Suisse (Hong Kong) Limited Rep Advising on securities 2004-03-31 2005-04-11
6 UBS SECURITIES ASIA LIMITED Rep Dealing in securities 2005-04-12 2008-04-12
7 GOLDMAN SACHS (ASIA) L.L.C. Rep Dealing in securities 2008-07-14 2009-12-12
8 GOLDMAN SACHS FUTURES (ASIA) LIMITED Rep Dealing in futures contracts 2008-08-28 2009-12-12
9 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED Rep Dealing in securities 2010-02-12 2010-06-02
10 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED RO Dealing in securities 2010-06-02 2020-03-19
11 CICC US Securities, Inc. RO Dealing in securities 2011-05-25 2011-10-31
12 CICC US Securities (Hong Kong) Limited RO Dealing in securities 2011-05-25 2012-02-17
13 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG FUTURES LIMITED Rep Advising on futures contracts 2011-12-19 2020-03-19
14 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG FUTURES LIMITED Rep Dealing in futures contracts 2011-12-19 2020-03-19
15 CICC US Securities (Hong Kong) Limited Rep Dealing in securities 2014-09-11 2020-03-19
16 HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED Rep Advising on securities 2022-11-10
17 HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED Rep Dealing in securities 2022-11-10

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